It has become something of a journalistic ritual to look back over a certain period of time—a week, a month, a year—and tease out the top themes or trends. As 2015 draws to a close, it is a time to ask what mattered most in the past 12 months, and how understanding those themes can prepare us for the next 12.
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Action this week from FINRA is a clear reminder that investment service providers must watch for red flags and take action to detect and prevent the theft of funds from investors—especially senior investors and other potentially vulnerable populations.
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The reasons why sponsors are interested in offering income products, DCIIA says, include wanting to help employees transition to retirement at the appropriate age, rather than having them remain at the company longer than the employer would want.
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